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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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Conduct of Business Module (COB) [VER33/07-19]
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  Versions
(2 versions)
 
Jul 1 2008 - Jul 31 2017Aug 1 2017 onwards

COB A2.1.1



Whole Section PDF

The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

To view past versions of this module in PDF format, please visit the Archive.

The key information which an Authorised FirmG is required to provide to a ClientG and include in the Client AgreementG with that ClientG pursuant to COB Rule 3.3.2 must include:

(a) the core information set out in:
(i) COB Rule A2.1.2 (1) if it is a Retail ClientG ; and
(ii) COB Rule A2.1.2(2) if it is a Professional ClientG ;
(b) where relevant, the additional information required under COB Rule A2.1.3 for Investment BusinessG and COB Rule A2.1.4 for Investment ManagementG ; and
(c) the additional terms set out in COB Rules A2.1.5 and A2.1.6 if the Client AgreementG relates to the use of a Crowdfunding PlatformG .
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]
[Added] DFSA RMI202/2017 (Made 14th June 2017). [VER29/08-17]